Management and Monitoring Systems

SUMMARY: The Federal Highway Administration and the Federal Transit

Administration are issuing regulations for State development,

establishment, and implementation of systems for managing: Highway

pavement of Federal-aid highways; bridges on and off Federal-aid

highways; highway safety; traffic congestion; public transportation

facilities and equipment; and intermodal transportation facilities and

systems; and a system for monitoring highway and public transportation

facilities and equipment.

This rule will remove the management system certification and

sanction requirements and allow the States to elect to not implement

the management systems in whole or in part.

DATES: This final rule is effective on January 21, 1997.

FOR FURTHER INFORMATION CONTACT: For information on the general

provisions: Mr. Tony Solury, 202-366-5003. For information on a

specific system: Highway pavement--Mr. Frank Botelho, 202-366-1336;

Bridge--Mr. Charles Chambers, 202-366-4618; Highway safety--Mr. Fred

Small, 202-366-9212; Traffic congestion--Mr. Charles Goodman, 202-366-

8070; Public transportation facilities and equipment--Mr. Sean

Libberton, 202-366-0055; Intermodal transportation facilities and

systems--Mr. Dane Ismart, 202-366-4071; Traffic monitoring--Mr. Tony

Esteve, 202-366-5051. For information on legal issues: Mr. Wilbert

Baccus, FHWA Office of the Chief Counsel, 202-366-0780. Office hours

are 7:45 a.m. to 4:15 p.m., e.t., Monday through Friday, except Federal

holidays.

SUPPLEMENTARY INFORMATION: Section 1034 of the ISTEA (Pub. L. 102-240,

105 Stat. 1914, 1977) amended Title 23, United States Code, Highways

(23 U.S.C.), by adding section 303, Management Systems (23 U.S.C. 303),

which requires the Secretary of Transportation to issue regulations for

State development, establishment, and implementation of a system for

managing each of the following:

(1) Highway pavement of Federal-aid highways (PMS),

(2) Bridges on and off Federal-aid highways (BMS),

(3) Highway safety (SMS),

(4) Traffic congestion (CMS),

(5) Public transportation facilities and equipment (PTMS), and

(6) Intermodal transportation facilities and systems (IMS).

The systems must be developed and implemented in cooperation with

metropolitan planning organizations (MPOs), in metropolitan areas, and

with affected agencies receiving assistance under the Federal Transit

Act, Public Law 88-365, 78 Stat. 302, as amended.

Section 303 also requires the Secretary to issue guidelines and

requirements for the State development, establishment, and

implementation of a traffic monitoring system (TMS) for highways and

public transportation facilities and equipment.

Both the metropolitan (23 U.S.C. 134 and 49 U.S.C. 5303-5305) and

statewide (23 U.S.C. 135) transportation planning provisions require

consideration of the needs identified through use of the management

systems in the respective planning processes.

The legislative history reflects the Congress' concerns about

placing potentially burdensome requirements on States. Accordingly, it

amended 23 U.S.C. 303(c) through section 205(a) of the NHS Act, to

allow States the flexibility to choose which management systems to

implement under 23 U.S.C. 303. This final rule reflects this State

option and contains only minimum requirements for those systems that a

State chooses to implement under the provisions of section 303. The

Secretary may not impose any penalty on a State for such election. This

option does not apply to the separate legislative requirements that the

planning process in Transportation Management Areas (TMAs) include a

CMS (23 U.S.C. 134(i)(3) and 49 U.S.C. 5305(c)) and that Federal funds

not be programmed in a carbon monoxide and/or ozone nonattainment TMA

for any highway project that will result in a significant increase in

single-occupant-vehicle capacity unless the project is based on an

approved congestion management system (23 U.S.C. 134(l) and 49 U.S.C.

5305(c)). It also does not apply to the TMS.

An advance notice of proposed rulemaking (ANPRM) was published in

the June 3, 1992, Federal Register (57 FR 23460) to solicit early input

for development of these regulations. Public workshops for the SMS were

announced in the April 28, 1992, Federal Register (57 FR 17868) and

were conducted in Washington, DC, on May 29, 1992, in San Francisco,

CA, on June 1, 1992, and in Kansas City, MO, on June 10, 1992. Four

public workshops for the CMS, PTMS, and IMS were announced in the May

26, 1992, Federal Register (57 FR 21915) and were conducted in Los

Angeles, CA, on June 18, 1992, in New York, NY, on June 29, 1992, in

Chicago, IL, on July 14, 1992, and in Houston, TX, on July 21, 1992.

The purpose of the workshops was to obtain input to the rulemaking

process to supplement the comments to the ANPRM docket. The ANPRM was

issued with two docket numbers, FHWA 92-14 and FTA 92-B.

Approximately 125 individuals attended the workshops for the SMS

and over 320 attended the workshops for the CMS, PTMS, and IMS.

Summaries of comments presented and documents submitted at the public

workshops are available for review in FHWA docket number 92-14.

Approximately 162 sets of comments on the ANPRM were submitted to

docket numbers FHWA 92-14 and FTA 92-B. Approximately 48 percent of the

comments to the dockets were from State agencies (transportation/

highway departments, motor vehicle departments, State police, etc.), 13

percent from National interest groups/associations, 10 percent from

regional planning agencies/MPOs, 10 percent from local agencies

(cities, counties), 8 percent from private businesses or individuals, 7

percent from transit operators, and 4 percent from miscellaneous

agencies. Since approximately two-thirds of the comments submitted to

the FTA docket number 92-B were duplicates of those submitted to the

FHWA docket number 92-14, the FTA docket was closed and those comments

submitted to FTA Docket 92-B that were not duplicates were placed in

FHWA/FTA docket number 92-14.

The testimony from the ANPRM workshops and comments submitted to

the ANPRM dockets were reviewed and used to prepare a notice of

proposed rulemaking (NPRM) which was published in the March 2, 1993,

Federal Register (58 FR 12096). The NPRM was issued under FHWA/FTA

docket number 92-14 only. Four public meetings for the CMS, PTMS, and

IMS were announced in the March 24, 1993, Federal Register (58 FR

15816) and were conducted during the NPRM

[[Page 67167]]

comment period in San Francisco, CA, on April 1, 1993, in Atlanta, GA,

on April 8, 1993, in Philadelphia, PA, on April 15, 1993, and in Kansas

City, MO, on April 21, 1993. The purpose of the NPRM meetings was to

obtain input to the rulemaking process to supplement the comments to

the NPRM docket. Approximately 220 individuals attended the NPRM public

meetings for the CMS, PTMS, and IMS. Transcripts of comments presented

and copies of documents submitted at the public meetings are available

for review in docket number 92-14.

After considering the comments submitted to the docket and the

testimony presented at the four public meetings, the FHWA and the FTA

revised the proposed regulation and published an interim final rule

(IFR) in the December 1, 1993, Federal Register (58 FR 63442). The

regulation was issued as an IFR in response to concerns regarding the

anticipated data collection burden. Subsequent to issuance of the IFR,

the FHWA and the FTA visited 10 States to obtain additional information

to refine the data collection burden estimates. This information was

used to prepare the information in the section below titled Paperwork

Reduction Act.

Fifty six sets of comments were submitted to FHWA/FTA docket number

92-14 in response to the IFR. Approximately 64 percent of the comments

to the docket were from State agencies (transportation/highway, safety,

environmental), 14 percent from National/regional interest groups/

associations, 11 percent from regional planning agencies/MPOs, 5

percent from local agencies (cities, counties), 4 percent from transit

operators/railroad companies, and 2 percent from universities.

The overwhelming majority of comments expressed continuing concern

over the potential data burden of the regulation. This was not

unexpected since the preamble to the IFR specifically solicited comment

on the data burden to assist the FHWA and the FTA in developing an

estimate of the data burden for submission to the Office of Management

and Budget (OMB). Three commenters suggested that additional data or

that standardized data be required. In addition, several commenters

expressed concern over the extent of coverage of the systems and the

perceived prescriptiveness of the IFR. Many commenters suggested

editorial changes. In spite of these data and coverage concerns, many

of the commenters supported the concept of the management systems. With

the elimination of detailed technical requirements and since compliance

is optional, except for the CMS in TMAs and the TMS as noted above, the

basis for most of these comments should be eliminated.

As part of the government-wide regulatory streamlining effort that

was announced by the President in March 1995, the FHWA and the FTA

reviewed the interim final rule for the ISTEA management and monitoring

systems. During this same time period, pending legislation for

designation of the National Highway System (NHS) which included a

provision that would remove the management system certification and

sanction requirements and make implementation of the six management

systems optional had passed in the Senate. Many States, MPOs, and other

involved agencies were aware of these developments and were concerned

about proceeding with significant financial and manpower commitments

necessary to carry out the work plans for the systems in view of the

uncertainty surrounding the management systems.

On July 20, 1995, the FHWA and the FTA issued guidance on the

continued development of the systems in a memorandum (copy available

for review in docket 92-14) to their regional offices. The memorandum

indicated that, until the uncertainty surrounding the management

systems was resolved, continued development of the systems could be

limited to the NHS for the PMS, BMS, and SMS and to TMAs for the CMS

and PTMS, and to intermodal facilities connected to the NHS for the

IMS. The compliance dates were also extended except for the BMS. Any

necessary data collection related to the management systems would be

limited and tailored to support development and implementation of the

management systems in accordance with the guidance above. The National

Highway System Designation Act of 1995 (NHS Act) included amendments to

23 U.S.C. 303 that allow a State to elect to not implement, in whole or

in part, any one or more of the management systems required under 23

U.S.C. 303. In addition, the certification requirement was removed and

the Secretary may not impose any sanction on, or withhold any benefit

from a State that elects to take this approach. The FHWA and the FTA

issued guidance on these changes in a March 7, 1996, memorandum (copy

available for review in FHWA/FTA docket 92-14) to their regional

offices. The guidance indicated that, effective immediately,

certifications were no longer required and sanctions could not be

imposed.

The NHS Act does not affect the requirement in 23 U.S.C. 134(i)(3)

and 49 U.S.C. 5305(c) that the planning process in all TMAs include a

CMS. As with all planning process requirements, compliance with this

requirement will be addressed during metropolitan planning process

certification reviews for all TMAs.

The NHS Act also does not affect the requirement in 23 U.S.C.

134(l) and 49 U.S.C. 5305(f) that Federal funds may not be programmed

in a carbon monoxide and/or ozone nonattainment TMA for any project

that will result in a significant increase in single-occupant-vehicle

(SOV) capacity unless the project is based on an approved CMS. The

March 7, 1996, memorandum indicated that until September 30, 1997, the

interim CMS procedures in 23 CFR 450.336(b) may be used to meet this

requirement. After this date, such projects must be based on a fully

operational CMS.

All of the language in the NHS Act and conference report (H.R.

Conf. Rep. No. 345, 104th Cong., 1st Sess. (1995)) refers to management

systems. There are no references to the traffic monitoring system.

Therefore, the requirements for the traffic monitoring system for

highways and public transportation are unchanged.

The FHWA and the FTA believe that the primary purpose of

transportation management systems is to provide system performance

information to the public, local officials, and those having

responsibility for the operation of the transportation system. These

systems provide critical information for transportation investment

decisions so that limited resources can be programmed effectively to

improve the efficiency and safety of and protect our investment in the

nation's transportation infrastructure. To this end, the FHWA and the

FTA endorse continued implementation of the transportation management

systems specified in 23 U.S.C. 303, whether under a State's, MPO's, or

transit operator's own procedures or under the provisions of this

regulation. The FHWA and the FTA believe that development and use of

existing or new transportation management systems will support

decision-making that emphasizes enhanced service at minimum public and

private life-cycle cost. Funding for the development and implementation

of any of the systems, in whole or in part, continues to be eligible

for the funding categories identified in 23 CFR 500.105. The FHWA and

the FTA will continue to provide technical assistance in the management

of the transportation system in these critical areas.

This final regulation is being issued as part 500 of subchapter F

of title 23,

[[Page 67168]]

Code of Federal Regulations (23 CFR). Subpart A of part 500 includes

definitions and requirements applicable to the six management systems.

Subpart B includes requirements for the traffic monitoring system. The

requirements in 23 CFR Part 500 are incorporated by cross reference

into the FTA's regulations as part 614 of chapter VI of title 49, Code

of Federal Regulations.

A discussion of revisions to the rule follows.

Subpart A--Management Systems

In view of the optional nature of the six management systems, most

of the technical requirements in former subparts A through G, except

for requirements for the CMS, have been removed. Sections 500.107,

Compliance, and 500.109, Sanctions, have been deleted in their entirety

because of the above noted legislative changes. Similarly, the

provisions of former Sec. 500.113, Acceptance of Existing Systems, are

no longer needed since any systems in existence when the ISTEA was

enacted that a State wanted to use would already have been submitted

for acceptance. Except for the CMS in non-attainment TMAs and the TMS,

the compliance schedules have been removed. Those provisions of former

subparts A through G that have been retained are in revised subpart A.

Section-by-Section Analysis

Section 500.101 Purpose

This section states the purpose of this regulation.

Section 500.102 Policy

This section is new. Paragraph (a) emphasizes the value that the

FHWA and the FTA believe that management systems can provide to make

cost-effective investment decisions and that the FHWA and the FTA will

continue to support development of the systems whether they are

developed under State or local procedures or under this regulation.

Paragraph (b) was Sec. 500.111, ``Funds for development,

establishment, and implementation of the systems,'' in the IFR.

Language has been added to indicate that the specified categories of

funds may be used for any of the systems whether or not the systems are

developed under the provisions of this part or under a State's, MPO's,

or transit operator's own procedures. The references to the Federal

Transit Act have been updated to refer to the corresponding sections of

title 49, U.S.C., since the Federal Transit Act is now codified as

Chapter 53 of that title.

Section 500.103 Definitions

Since many of the terms defined in the IFR are no longer used in

the final rule, they have been deleted. The remaining definitions are

unchanged from the IFR.

Section 500.104 State Option

This section reflects the NHS Act provision that allows a State to

elect, at any time, not to implement any of the six management systems

under 23 U.S.C. 303, in whole or in part except as specified in

Sec. 105(a) and (b).

Section 500.105 Requirements

This section was titled ``Development, Establishment, and

Implementation of the Systems'' in the IFR.

Paragraph (a) specifies that, in accordance with 23 U.S.C. 134 and

49 U.S.C. 303-5307, the metropolitan planning process in TMAs include a

CMS that meets the requirements of Sec. 500.109 of this final rule.

Paragraph (b) indicates that the State option also does not apply

to the requirements for the TMS in subpart B.

Paragraph (c) is former Sec. 500.105(c) which includes the

requirement that any of the management systems that a State chooses to

develop under 23 U.S.C., be developed in cooperation with MPOs in

metropolitan areas, transit operators, local officials, and other

affected agencies.

Paragraph (d) is former Sec. 500.105(g). This paragraph includes

the legislative requirement that the results from management systems be

considered in the development of statewide and metropolitan

transportation plans and programs and in making project selection

decisions under title 23, U.S.C., and title 49 U.S.C., Chapter 53 (the

Federal Transit Act).

The provisions in Secs. 500.105(e), (f), (h), (i), and (j) of the

IFR regarding incorporation of certain systems into the metropolitan

planning processes, coordination among MPOs, identification of roles

and responsibilities, the relationship to the 23 U.S.C. 303 management

systems to those required under 23 U.S.C. 204 for Federal lands

highways, and periodic evaluation of the effectiveness of the systems

have been eliminated.

Section 500.106 PMS

This section identifies the minimum criteria for an effective PMS

for Federal-aid highways which may be based on the ``AASHTO Guidelines

for Pavement Management Systems.'' \1\ All other specific requirements

of subpart B of the IFR have been removed.

---------------------------------------------------------------------------

\1\ AASHTO Guidelines for Pavement Management Systems, July

1990, can be purchased from the American Association of State

Highway and Transportation Officials, 444 N. Capitol Street, NW.,

Suite 249, Washington, D.C. 20001. Available for inspection as

prescribed in 49 CFR part 7, appendix D.

---------------------------------------------------------------------------

Section 500.107 BMS

This section identifies the minimum criteria for an effective BMS

for bridges on and off Federal-aid highways which may be based on the

``AASHTO Guidelines for Bridge Management Systems.'' \2\ All other

specific requirements of subpart C of the IFR have been removed.

---------------------------------------------------------------------------

\2\ AASHTO Guidelines for Bridge Management Systems, 1992, can

be purchased from the American Association of State Highway and

Transportation Officials, 444 N. Capitol Street, NW., Suite 249,

Washington, D.C. 20001. Available for inspection as prescribed in 49

CFR part 7, appendix D.

---------------------------------------------------------------------------

Section 500.108 SMS

This section identifies the minimum criteria for an effective SMS

which may be based on the guidance in ``Safety Management Systems: Good

Practices for Development and Implementation.'' \3\ All other specific

requirements of subpart D of the IFR have been removed.

---------------------------------------------------------------------------

\3\ Safety Management Systems: Good Practices for Development

and Implementation, FHWA and NHTSA, May 1996. Available for

inspection and copying as prescribed in 49 CFR part 7, appendix D.

---------------------------------------------------------------------------

Section 500.109 CMS

Paragraph (a) identifies the general criteria for a CMS in all

areas of a State. The provisions of this paragraph are optional for all

areas of a State except TMAs. The definitions of ``congestion'' and

``congestion management system'' in Sec. 500.503 of the IFR have been

incorporated into this paragraph. The flexibility in the former

definitions for State and local officials to determine performance

measures and levels of performance has been retained. The emphasis on

consideration of actions to reduce SOV travel in Sec. 500.505(b) of the

IFR has been incorporated into paragraph (a). The remainder of

Sec. 500.109 applies to CMSs in TMAs but is recommended for CMSs in all

areas of a State.

Paragraph (b) includes additional requirements for the CMS in TMAs.

The requirement in Sec. 500.505(d) of the IFR that the metropolitan

planning process in TMAs include a CMS has been moved to this

paragraph. The remainder of this paragraph is a consolidation and

rewording of provisions of Sec. 500.507 CMS components of the IFR. The

sample list of 12 categories of strategies that should be considered in

Sec. 500.507(c) of the IFR has been

[[Page 67169]]

consolidated into five broader categories in Sec. 500.109(b)(4) of the

final rule.

The requirements in Sec. 500.505(c) of the IFR regarding

programming of Federal funds for projects that will result in a

significant increase in SOV capacity in TMAs that are non-attainment

for carbon monoxide and/or ozone are in Sec. 500.109(c) of the final

rule.

Paragraph (d) of this section includes compliance requirements for

the CMS in TMAs. Compliance with the requirement that the planning

process include a CMS will be addressed during metropolitan planning

process certification reviews for all TMAs. If the planning process in

TMAs does not include a CMS that meets the requirements of this

section, deficiencies and corrective actions will be identified in the

certification review. Until September 30, 1997, the interim CMS

procedures in 23 CFR 450.336(b) may be used to meet the requirement

that programming of Federal funds for SOV projects in non-attainment

TMAs be based on an approved CMS. After this date, such projects will

need to be based on a CMS that meets the requirements of this part.

Section 500.110 PTMS

This section identifies general criteria for an effective PTMS for

development by the States in cooperation with recipients and

subrecipients under Chapter 53 of title 49, U.S.C. The provisions of

Sec. 500.607(b)(2) of the IFR regarding vehicle and ridership data have

been moved to subpart B, Traffic Monitoring System, of this final rule.

All other specific requirements of subpart F of the IFR have been

removed.

Section 500.111 IMS

This section identifies the minimum criteria for an effective IMS.

All other specific requirements of subpart G of the IFR have been

removed.

Subpart B--Traffic Monitoring System

Subpart H, Traffic Monitoring System for Highways (TMS/H), has been

moved to subpart B of the final rule and has been retitled Traffic

Monitoring System (TMS) since the traffic monitoring requirements for

public transportation facilities and equipment have been moved from

subpart F of the IFR to this subpart. Except as noted below, only minor

editorial changes have been made to this subpart.

The traffic monitoring data requirements for public transportation

facilities and equipment specified in Sec. 500.607(b)(2) of the IFR

have been moved to a definition of ``transit traffic data'' in

Sec. 500.203. Section 500.203(g) of the final rule specifies that

transit traffic data is to be collected in cooperation with MPOs and

transit operators.

The compliance schedule in Sec. 500.809 of the IFR has been revised

and moved to paragraph Sec. 500.203(h) of the final rule. The TMS for

highways and public transportation facilities and equipment is to be

fully operational by October 1, 1997.

For ease of reference, the following table is provided to assist

the user in locating section and paragraph changes made in this

rulemaking:

------------------------------------------------------------------------

Old section New section

------------------------------------------------------------------------

500.101................................... 500.101.

None...................................... 500.102(a).

500.103................................... 500.103.

None...................................... 500.104.

None...................................... 500.105(a), (b).

500.105(b)................................ Removed.

500.105(c)................................ 500.105(c).

500.105(d)................................ 500.109(b).

500.105(e),(f)............................ Removed.

500.105(g)................................ 500.105(d).

500.105(h), through (j)................... Removed.

500.107................................... Removed.

500.109................................... Removed.

500.111................................... 500.102(b).

500.113................................... Removed.

500.201 through 209....................... 500.106.

500.301 through 309....................... 500.107.

500.401 through 409....................... 500.108.

500.501................................... Removed.

500.503................................... 500.109(a).

500.505(a),(b)............................ 500.109(a).

500.505(c)................................ Removed.

500.505(d)................................ 500.109(b).

500.505(e)................................ 500.109(c).

500.505(f)................................ Removed.

500.505(g)................................ Removed.

500.507................................... 500.109(b).

500.509................................... 500.109(d).

500.601 through 609, except 500.607(b)(2). 500.110.

500.607(b)(2)............................. 500.202, 500.203(g).

500.701 through 709....................... 500.111.

500.801................................... 500.201.

500.803................................... 500.202.

500.805................................... 500.203(a) through (f).

500.807................................... 500.204.

500.809................................... 500.203(h).

------------------------------------------------------------------------

23 CFR Part 450 and 49 CFR Part 613

As a result of the changes in 23 CFR Part 500, technical amendments

have been made in the metropolitan transportation planning regulation

in 23 CFR Part 450 and 49 CFR Part 613. These technical amendments in

wording and references are necessary to reflect the revisions to the

provisions in Part 500 for CMSs in TMAs.

In addition, a technical amendment has been made to Sec. 450.316,

Metropolitan transportation planning process: Elements, to add

recreational travel and tourism as a factor to be considered in the

development of metropolitan transportation plans and programs. This

element was added to 23 U.S.C. 134(f) by section 317 of the NHS Act.

23 CFR Part 626

With the issuance of 23 CFR Part 500 in the December 1, 1993,

Federal Register (58 FR 63442), the FHWA incorporated previous PMS and

pavement design requirements in former 23 CFR Part 626 into 23 CFR Part

500 and removed Part 626 to eliminate redundancy. With publication of

this final rule for the management systems, the FHWA is separating

pavement design requirements from Part 500 and placing them into a

reestablished Part 626.

Rulemaking Analyses and Notices Executive Order 12866 (Regulatory

Planning and Review) and DOT Regulatory Policies and Pocedures

This rulemaking is considered to be a significant regulatory action

under Executive Order 12866 and is considered to be significant under

the regulatory policies and procedures of the DOT because of

substantial State, local government, congressional and public interest.

This final rule implements 23 U.S.C. 303 which requires the Secretary

of Transportation to issue regulations for State development,

establishment, and implementation of six identified management systems

and guidelines and requirements for a traffic monitoring system for

highways and public transportation facilities and equipment. These

management systems are intended to assist State transportation decision

makers in maintaining and improving the condition and performance of

their transportation systems. As amended by the NHS Act, section 303

indicates that States may elect not to implement any of the six

management systems under section 303 in whole or in part.

In compliance with the final rule is optional, except for the CMS

in TMAs and the TMS, the only ``mandatory'' burden for compliance would

be that associated with these provisions. Since the CMS in TMAs is part

of the planning process required by 23 U.S.C. 134 and most States

already have TMSs that meet the requirements of the final rule, any

additional costs to State and local governments to develop and

implement these systems will be so minimal that no further analysis

will be necessary.

[[Page 67170]]

Regulatory Flexibility Act

Since compliance with the Regulatory Flexibility Act (5 U.S.C. 601-

612), the FHWA and the FTA have evaluated the effects of this rule on

small entities, such as local governments and businesses. While

compliance with most parts of this final rule is optional, several

categories of available Federal funds identified in the rule can be

used to develop and implement the systems, whether or not they are

developed under the rule or under State or local procedures. The FHWA

and the FTA believe that this rule will not have a significant economic

impact on a substantial number of small entities. Accordingly, the FHWA

and the FTA certify that this rulemaking would not have a significant

economic impact on a substantial number of such entities.

Executive Order 12612 (Federalism Assessment)

This action has been analyzed in accordance with the principles and

criteria contained in Executive Order 12612. Section 303 of title 23,

U.S.C., requires the Secretary to issue regulations and requirements/

guidelines to implement the management and traffic monitoring system

provisions. The rule recognizes the role of States, MPOs, local

governments, and operators of transportation systems and facilities in

implementing these systems and allows them not to implement the systems

in whole or in part. Accordingly, it is certified that the policies

contained in this document have been assessed in light of the

principles, criteria, and requirements of the Federalism Executive

Order. It has been determined that this rule does not have sufficient

Federalism implications to warrant a full Federalism Assessment under

the principles and criteria contained in Executive Order 12612.

Executive Order 12372 (Intergovernmental Review)

Catalog of Federal Domestic Assistance Program Numbers 20.205,

Highway Planning and Construction, 20.505, FTA Technical Studies

Grants, and 20.507, Capital and Operating Assistance Formula Grants.

The regulations implementing Executive Order 12372 regarding

intergovernmental consultation on Federal programs and activities apply

to these programs.

Paperwork Reduction Act

Except for the CMS in TMAs and the TMS, implementation of the

management systems identified in this rule by the States and other

agencies is optional. The CMS in TMAs is a requirement of the

metropolitan planning provisions of 23 U.S.C. 134 and 49 U.S.C. 5303-

5305. OMB control number 2132-0529 for the statewide and metropolitan

planning regulations (23 CFR Part 450) includes the information

collection burden for all planning process requirements including the

CMS in TMAs. With respect to the TMS, the technical procedures in

subpart B of 23 CFR Part 500, are only applicable when traffic data is

needed for the purposes specified in Sec. 500.203. Any information

collection burden or reporting requirements associated with subpart B

are covered by the respective programs specified in Sec. 500.203 that

require traffic data. Since the management systems are optional, any

traffic data needed for the management systems are also optional.

The regulation does not require any reporting to the Federal

government. Therefore, there is no information collection or reporting

burden for this regulation. Elimination of the requirements for

workplans, certification statements, and status reports removes an

annual average reporting burden of 22,180 person hours. Estimation of

the annual information collection burden that would have occurred under

the IFR for each of the management systems varied significantly by

system, status of preexisting efforts by the States, and extent of

transportation facilities that would have needed to be included, as

well as by the level of sophistication that a State chose to implement.

Based on the information provided by the 10 States visited by the FHWA

and the FTA it is estimated that the annual person hours of information

collection burden by system per State would have ranged from: 250 to

23,000 for the PMS; 0 to 8,000 for the BMS; 1000 to 41,000 for the SMS;

0 to 60,000 for the CMS; 200 to 3,200 for the PTMS; 1,300 to 31,000 for

the IMS; and 0 to 3,120 for the TMS. This burden estimate for the CMS

does not include the CMS in TMAs which is a planning process

requirement. The estimate for the TMS includes only the additional

traffic data needed for the management systems.

National Environmental Policy Act

The FHWA and the FTA have analyzed this action for the purpose of

the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.)

and have determined that this action would not have any effect on the

quality of the environment.

Regulation Identification Number

A regulation identification number (RIN) is assigned to each

regulatory action listed in the Unified Agenda of Federal Regulations.

The Regulatory Information Service Center publishes the Unified Agenda

in April and October of each year. The RIN contained in the heading of

this document can be used to cross reference this action with the

Unified Agenda.

List of Subjects

23 CFR Part 450

Grant programs--transportation, Highways and roads, Mass

transportation, Metropolitan planning, Statewide planning, Project

selection, Metropolitan transportation improvement program, Statewide

transportation improvement program.

23 CFR Part 500

Bridges, Grant programs--transportation, Highway traffic safety,

Highways and roads, Mass transportation, Reporting and recordkeeping

requirements.

23 CFR Part 626

Design standards, Grant programs--transportation, Highways and

roads.

49 CFR Part 613

Grant programs--transportation, Mass transportation.

49 CFR Part 614

Grant programs--transportation, Mass transportation.

Issued on: December 9, 1996.

Rodney E. Slater,

Federal Highway Administrator.

Gordon J. Linton,

Federal Transit Administrator.

In consideration of the foregoing, Chapter I of title 23, CFR, and

Chapter VI of title 49, CFR, are amended as set forth below.

23 CFR Chapter I

SUBCHAPTER F--TRANSPORTATION INFRASTRUCTURE MANAGEMENT

PART 500--MANAGEMENT AND MONITORING SYSTEMS

1. Part 500 of subchapter F is revised to read as follows:

Subpart A--Management systems

Sec.

500.101 Purpose.

500.102 Policy.

500.103 Definitions.

500.104 State option.

500.105 Requirements.

500.106 PMS.

500.107 BMS.

500.108 SMS.

500.109 CMS.

500.110 PTMS.

500.111 IMS.

[[Page 67171]]

Subpart B--Traffic Monitoring System

Sec.

500.201 Purpose.

500.202 TMS definitions.

500.203 TMS general requirements.

500.204 TMS components for highway traffic data.

Authority: 23 U.S.C. 134, 135, 303 and 315; 49 U.S.C. 5303-5305;

23 CFR 1.32; and 49 CFR 1.48 and 1.51.

Subpart A--Management Systems

Sec. 500.101 Purpose.

The purpose of this part is to implement the requirements of 23

U.S.C. 303(a) which directs the Secretary of Transportation (the

Secretary) to issue regulations for State development, establishment,

and implementation of systems for managing highway pavement of Federal-

aid highways (PMS), bridges on and off Federal-aid highways (BMS),

highway safety (SMS), traffic congestion (CMS), public transportation

facilities and equipment (PTMS), and intermodal transportation

facilities and systems (IMS). This regulation also implements 23 U.S.C.

303(b) which directs the Secretary to issue guidelines and requirements

for State development, establishment, and implementation of a traffic

monitoring system for highways and public transportation facilities and

equipment (TMS).

Sec. 500.102 Policy.

(a) Federal, State, and local governments are under increasing

pressure to balance their budgets and, at the same time, respond to

public demands for quality services. Along with the need to invest in

America's future, this leaves transportation agencies with the task of

trying to manage current transportation systems as cost-effectively as

possible to meet evolving, as well as backlog needs. The use of

existing or new transportation management systems provides a framework

for cost-effective decision making that emphasizes enhanced service at

reduced public and private life-cycle cost. The primary outcome of

transportation management systems is improved system performance and

safety. The Federal Highway Administration (FHWA) and the Federal

Transit Administration (FTA) strongly encourage implementation of

transportation management systems consistent with State, metropolitan

planning organization, transit operator, or local government needs.

(b) Whether the systems are developed under the provisions of this

part or under a State's own procedures, the following categories of

FHWA administered funds may be used for development, establishment, and

implementation of any of the management systems and the traffic

monitoring system: National highway system; surface transportation

program; State planning and research and metropolitan planning funds

(including the optional use of minimum allocation funds authorized

under 23 U.S.C. 157(c) and restoration funds authorized under

Sec. 202(f) of the National Highway System Designation Act of 1995

(Pub.L. 104-59) for carrying out the provisions of 23 U.S.C. 307(c)(1)

and 23 U.S.C. 134(a)); congestion mitigation and air quality

improvement program funds for those management systems that can be

shown to contribute to the attainment of a national ambient air quality

standard; and apportioned bridge funds for development and

establishment of the bridge management system. The following categories

of FTA administered funds may be used for development, establishment,

and implementation of the CMS, PTMS, IMS, and TMS: Metropolitan

planning; State planning and research, and formula transit funds.

Sec. 500.103 Definitions.

Unless otherwise specified in this part, the definitions in 23

U.S.C. 101(a) are applicable to this part. As used in this part:

Federal-aid highways means those highways eligible for assistance

under title 23, U.S.C., except those functionally classified as local

or rural minor collectors.

Metropolitan planning organization (MPO) means the forum for

cooperative transportation decision making for a metropolitan planning

area.

National Highway System (NHS) means the system of highways

designated and approved in accordance with the provisions of 23 U.S.C.

103(b).

State means any one of the fifty States, the District of Columbia,

or Puerto Rico.

Transportation management area (TMA) means an urbanized area with a

population over 200,000 (as determined by the latest decennial census)

or other area when TMA designation is requested by the Governor and the

MPO (or affected local officials), and officially designated by the

Administrators of the FHWA and the FTA. The TMA designation applies to

the entire metropolitan planning area(s).

Sec. 500.104 State option.

Except as specified in Sec. 500.105 (a) and (b), a State may elect

at any time not to implement any one or more of the management systems

required under 23 U.S.C. 303, in whole or in part.

Sec. 500.105 Requirements.

(a) The metropolitan transportation planning process (23 U.S.C. 134

and 49 U.S.C. 5303-5005) in TMAs shall include a CMS that meets the

requirements of Sec. 500.109 of this regulation.

(b) States shall develop, establish, and implement a TMS that meets

the requirements of subpart B of this regulation.

(c) Any of the management systems that the State chooses to

implement under 23 U.S.C. 303 and this regulation shall be developed in

cooperation with MPOs in metropolitan areas, affected agencies

receiving assistance under the Federal Transit Act (49 U.S.C., Chapter

53), and other agencies (including private owners and operators) that

have responsibility for operation of the affected transportation

systems or facilities.

(d) The results (e.g., policies, programs, projects, etc.) of any

of the management systems that a State chooses to develop under 23

U.S.C. 303 and this regulation shall be considered in the development

of metropolitan and statewide transportation plans and improvement

programs and in making project selection decisions under title 23,

U.S.C., and under the Federal Transit Act. Plans and programs adopted

after September 30, 1997, shall demonstrate compliance with this

requirement.

Sec. 500.106 PMS.

An effective PMS for Federal-aid highways is a systematic process

that provides information for use in implementing cost-effective

pavement reconstruction, rehabilitation, and preventative maintenance

programs and that results in pavements designed to accommodate current

and forecasted traffic in a safe, durable, and cost-effective manner.

The PMS should be based on the ``AASHTO Guidelines for Pavement

Management Systems.'' 1

---------------------------------------------------------------------------

\1\ 1 AASHTO Guidelines for Pavement Management Systems, July

1990, can be purchased from the American Association of State

Highway and Transportation Officials, 444 N. Capitol Street, NW.,

Suite 249, Washington, D.C. 20001. Available for inspection as

prescribed in 49 CFR part 7, appendix D.

---------------------------------------------------------------------------

Sec. 500.107 BMS.

An effective BMS for bridges on and off Federal-aid highways that

should be based on the ``AASHTO Guidelines for Bridge Management

Systems'' 2 and that

[[Page 67172]]

supplies analyses and summaries of data, uses mathematical models to

make forecasts and recommendations, and provides the means by which

alternative policies and programs may be efficiently considered. An

effective BMS should include, as a minimum, formal procedures for:

---------------------------------------------------------------------------

\2\ AASHTO Guidelines for Bridge Management Systems, 1992, can

be purchased from the American Association of State Highway and

Transportation Officials, 444 N. Capitol Street, NW., Suite 249,

Washington, D.C. 20001. Available for inspection as prescribed in 49

CFR part 7, appendix D.

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(a) Collecting, processing, and updating data;

(b) Predicting deterioration;

(c) Identifying alternative actions;

(d) Predicting costs;

(e) Determining optimal policies;

(f) Performing short- and long-term budget forecasting; and

(g) Recommending programs and schedules for implementation within

policy and budget constraints.

Sec. 500.108 SMS.

An SMS is a systematic process with the goal of reducing the number

and severity of traffic crashes by ensuring that all opportunities to

improve highway safety are identified, considered, implemented as

appropriate, and evaluated in all phases of highway planning, design,

construction, maintenance, and operation and by providing information

for selecting and implementing effective highway safety strategies and

projects. The development of the SMS may be based on the guidance in

``Safety Management Systems: Good Practices for Development and

Implementation.'' 3 An effective SMS should include, at a minimum:

---------------------------------------------------------------------------

\3\ Safety Management Systems: Good Practices for Development

and Implementation, FHWA and NHTSA, May 1996. Available for

inspection and copying as prescribed in 49 CFR part 7, appendix D.

---------------------------------------------------------------------------

(a) Communication, coordination, and cooperation among the

organizations responsible for the roadway, human, and vehicle safety

elements;

(b) A focal point for coordination of the development,

establishment, and implementation of the SMS among the agencies

responsible for these major safety elements;

(c) Establishment of short- and long-term highway safety goals to

address identified safety problems;

(d) Collection, analysis, and linkage of highway safety data;

(e) Identification of the safety responsibilities of units and

positions;

(f) Public information and education activities; and

(g) Identification of skills, resources, and training needs to

implement highway safety programs.

Sec. 500.109 CMS.

(a) For purposes of this regulation, congestion means the level at

which transportation system performance is no longer acceptable due to

traffic interference. The level of system performance deemed acceptable

by State and local officials may vary by type of transportation

facility, geographic location (metropolitan area or subarea, rural

area), and/or time of day. An effective CMS is a systematic process for

managing congestion that provides information on transportation system

performance and on alternative strategies for alleviating congestion

and enhancing the mobility of persons and goods to levels that meet

State and local needs. The CMS results in serious consideration of

implementation of strategies that provide the most efficient and

effective use of existing and future transportation facilities. In both

metropolitan and non-metropolitan areas, consideration needs to be

given to strategies that reduce SOV travel and improve existing

transportation system efficiency. Where the addition of general purpose

lanes is determined to be an appropriate strategy, explicit

consideration is to be given to the incorporation of appropriate

features into the SOV project to facilitate future demand management

and operational improvement strategies that will maintain the

functional integrity of those lanes.

(b) In addition to the criteria in paragraph (a) of this section,

in all TMAs, the CMS shall be developed, established and implemented as

part of the metropolitan planning process in accordance with 23 CFR

450.320(c) and shall include:

(1) Methods to monitor and evaluate the performance of the

multimodal transportation system, identify the causes of congestion,

identify and evaluate alternative actions, provide information

supporting the implementation of actions, and evaluate the efficiency

and effectiveness of implemented actions;

(2) Definition of parameters for measuring the extent of congestion

and for supporting the evaluation of the effectiveness of congestion

reduction and mobility enhancement strategies for the movement of

people and goods. Since levels of acceptable system performance may

vary among local communities, performance measures and service

thresholds should be tailored to the specific needs of the area and

established cooperatively by the State, affected MPO(s), and local

officials in consultation with the operators of major modes of

transportation in the coverage area;

(3) Establishment of a program for data collection and system

performance monitoring to define the extent and duration of congestion,

to help determine the causes of congestion, and to evaluate the

efficiency and effectiveness of implemented actions. To the extent

possible, existing data sources should be used, as well as appropriate

application of the real-time system performance monitoring capabilities

available through Intelligent Transportation Systems (ITS)

technologies;

(4) Identification and evaluation of the anticipated performance

and expected benefits of appropriate traditional and nontraditional

congestion management strategies that will contribute to the more

efficient use of existing and future transportation systems based on

the established performance measures. The following categories of

strategies, or combinations of strategies, should be appropriately

considered for each area: Transportation demand management measures,

including growth management and congestion pricing; traffic operational

improvements; public transportation improvements; ITS technologies;

and, where necessary, additional system capacity.

(5) Identification of an implementation schedule, implementation

responsibilities, and possible funding sources for each strategy (or

combination of strategies) proposed for implementation; and

(6) Implementation of a process for periodic assessment of the

efficiency and effectiveness of implemented strategies, in terms of the

area's established performance measures. The results of this evaluation

shall be provided to decision makers to provide guidance on selection

of effective strategies for future implementation.

(c) In a TMA designated as nonattainment for carbon monoxide and/or

ozone, the CMS shall provide an appropriate analysis of all reasonable

(including multimodal) travel demand reduction and operational

management strategies for the corridor in which a project that will

result in a significant increase in capacity for SOVs (adding general

purpose lanes to an existing highway or constructing a new highway) is

proposed. If the analysis demonstrates that travel demand reduction and

operational management strategies cannot fully satisfy the need for

additional capacity in the corridor and additional SOV capacity is

warranted, then the CMS shall identify all reasonable strategies to

manage the SOV facility effectively (or to facilitate its management in

the future). Other travel demand reduction and operational management

strategies appropriate for the corridor, but not

[[Page 67173]]

appropriate for incorporation into the SOV facility itself shall also

be identified through the CMS. All identified reasonable travel demand

reduction and operational management strategies shall be incorporated

into the SOV project or committed to by the State and MPO for

implementation.

(d)(1) Compliance with the requirement that the planning process in

all TMAs include a CMS will be addressed during metropolitan planning

process certification reviews for all TMAs specified in 23 CFR 450.334.

If the metropolitan planning process in a TMA does not include a CMS

that meets the requirements of this section, deficiencies will be noted

and corrections will need to be made in accordance with the schedule

established in the certification review.

(2) Until October 1, 1997, the interim CMS procedures in 23 CFR

450.336(b) may be used to meet the requirement in 23 U.S.C. 134(l) that

Federal funds may not be programmed in a carbon monoxide and/or ozone

nonattainment TMA for any highway project that will result in a

significant increase in single-occupant-vehicle capacity unless the

project is based on an approved CMS. After September 30, 1997, such

projects must be based on a CMS that meets the requirements of this

part.

Sec. 500.110 PTMS.

An effective PTMS for public transportation facilities (e.g.,

maintenance facilities, stations, terminals, transit related

structures), equipment, and rolling stock is a systematic process that

collects and analyzes information on the condition and cost of transit

assets on a continual basis, identifies needs, and enables decision

makers to select cost-effective strategies for providing and

maintaining transit assets in serviceable condition. The PTMS should

cover public transportation systems operated by the State, local

jurisdictions, public transportation agencies and authorities, and

private (for profit and non-profit) transit operators receiving funds

under the Federal Transit Act and include, at a minimum:

(a) Development of transit asset condition measures and standards;

(b) An inventory of the transit assets including age, condition,

remaining useful life, and replacement cost; and

(c) Identification, evaluation, and implementation of appropriate

strategies and projects.

Sec. 500.111 IMS.

An effective IMS for intermodal facilities and systems provides

efficient, safe, and convenient movement of people and goods through

integration of transportation facilities and systems and improvement in

the coordination in planning, and implementation of air, water, and the

various land-based transportation facilities and systems. An IMS should

include, at a minimum:

(a) Establishment of performance measures;

(b) Identification of key linkages between one or more modes of

transportation, where the performance or use of one mode will affect

another;

(c) Definition of strategies for improving the effectiveness of

these modal interactions; and

(d) Evaluation and implementation of these strategies to enhance

the overall performance of the transportation system.

Subpart B--Traffic Monitoring System

Sec. 500.201 Purpose.

The purpose of this subpart is to set forth requirements for

development, establishment, implementation, and continued operation of

a traffic monitoring system for highways and public transportation

facilities and equipment (TMS) in each State in accordance with the

provisions of 23 U.S.C. 303 and subpart A of this part.

Sec. 500.202 TMS definitions.

Unless otherwise specified in this part, the definitions in 23

U.S.C. 101(a) and Sec. 500.103 are applicable to this subpart. As used

in this part:

Highway traffic data means data used to develop estimates of the

amount of person or vehicular travel, vehicle usage, or vehicle

characteristics associated with a system of highways or with a

particular location on a highway. These types of data support the

estimation of the number of vehicles traversing a section of highway or

system of highways during a prescribed time period (traffic volume),

the portion of such vehicles that may be of a particular type (vehicle

classification), the weights of such vehicles including the weight of

each axle and associated distances between axles on a vehicle (vehicle

weight), or the average number of persons being transported in a

vehicle (vehicle occupancy).

Traffic monitoring system means a systematic process for the

collection, analysis, summary, and retention of highway and transit

related person and vehicular traffic data.

Transit traffic data means person and vehicular data for public

transportation on public highways and streets and the number of

vehicles and ridership for dedicated transit rights-of-way (e.g., rail

and busways), at the maximum load points for the peak period in the

peak direction and for the daily time period.

Sec. 500.203 TMS general requirements.

(a) Each State shall develop, establish, and implement, on a

continuing basis, a TMS to be used for obtaining highway traffic data

when:

(1) The data are supplied to the U.S. Department of Transportation

(U.S. DOT);

(2) The data are used in support of transportation management

systems;

(3) The data are used in support of studies or systems which are

the responsibility of the U.S. DOT;

(4) The collection of the data is supported by the use of Federal

funds provided from programs of the U.S. DOT;

(5) The data are used in the apportionment or allocation of Federal

funds by the U.S. DOT;

(6) The data are used in the design or construction of an FHWA

funded project; or

(7) The data are required as part of a federally mandated program

of the U.S. DOT.

(b) The TMS for highway traffic data should be based on the

concepts described in the American Association of State Highway and

Transportation Officials (AASHTO) ``AASHTO Guidelines for Traffic Data

Programs'' 4 and the FHWA ``Traffic Monitoring Guide (TMG),''

5 and shall be consistent with the FHWA ``Highway Performance

Monitoring System Field Manual.'' 6

---------------------------------------------------------------------------

\4\ AASHTO Guidelines for Traffic Data Programs, 1992, ISBN 1-

56051-054-4, can be purchased from the American Association of State

Highway and Transportation Officials, 444 N. Capitol Street, NW.,

Suite 249, Washington, D.C. 20001. Available for inspection as

prescribed in 49 CFR part 7, appendix D.

\5\ Traffic Monitoring Guide, DOT/FHWA, publication No. FHWA-PL-

95-031, February 1995. Available for inspection and copying as

prescribed in 49 CFR part 7, appendix D.

\6\ Highway Performance Monitoring System (HPMS) Field Manual

for the Continuing Analytical and Statistical Data Base, DOT/FHWA,

August 30, 1993 (FHWA Order M5600.1B). Available for inspection and

copying as prescribed in 49 CFR part 7, appendix D.

---------------------------------------------------------------------------

(c) The TMS shall cover all public roads except those functionally

classified as local or rural minor collector or those that are

federally owned. Coverage of federally owned public roads shall be

determined cooperatively by the State, the FHWA, and the agencies that

own the roads.

(d) The State's TMS shall apply to the activities of local

governments and other public or private non-State government entities

collecting highway traffic data within the State if the collected data

are to be used for any of the purposes enumerated in Sec. 500.203(a) of

this subpart.

[[Page 67174]]

(e) Procedures other than those referenced in this subpart may be

used if the alternative procedures are documented by the State to

furnish the precision levels as defined for the various purposes

enumerated in Sec. 500.203(a) of this subpart and are found acceptable

by the FHWA.

(f) Nothing in this subpart shall prohibit the collection of

additional highway traffic data if such data are needed in the

administration or management of a highway activity or are needed in the

design of a highway project.

(g) Transit traffic data shall be collected in cooperation with

MPOs and transit operators.

(h) The TMS for highways and public transportation facilities and

equipment shall be fully operational and in use by October 1, 1997.

Sec. 500.204 TMS components for highway traffic data.

(a) General. Each State's TMS, including those using alternative

procedures, shall address the components in paragraphs (b) through (h)

of this section.

(b) Precision of reported data. Traffic data supplied for the

purposes identified in Sec. 500.203(a) of this subpart shall be to the

statistical precision applicable at the time of the data's collection

as specified by the data users at various levels of government. A

State's TMS shall meet the statistical precisions established by FHWA

for the HPMS.

(c) Continuous counter operations. Within each State, there shall

be sufficient continuous counters of traffic volumes, vehicle

classification, and vehicle weight to provide estimates of changes in

highway travel patterns and to provide for the development of day-of-

week, seasonal, axle correction, growth factors, or other comparable

factors approved by the FHWA that support the development of traffic

estimates to meet the statistical precision requirements of the data

uses identified in Sec. 500.203(a) of this subpart. As appropriate,

sufficient continuous counts of vehicle classification and vehicle

weight should be available to address traffic data program needs.

(d) Short term traffic monitoring. (1) Count data for traffic

volumes collected in the field shall be adjusted to reflect annual

average conditions. The estimation of annual average daily traffic will

be through the appropriate application of only the following: Seasonal

factors, day-of-week factors, and, when necessary, axle correction and

growth factors or other comparable factors approved by the FHWA. Count

data that have not been adjusted to represent annual average conditions

will be noted as being unadjusted when they are reported. The duration

and frequency of such monitoring shall comply to the data needs

identified in Sec. 500.203(a) of this subpart.

(2) Vehicle classification activities on the National Highway

System (NHS), shall be sufficient to assure that, on a cycle of no

greater than three years, every major system segment (i.e., segments

between interchanges or intersections of principal arterials of the NHS

with other principal arterials of the NHS) will be monitored to provide

information on the numbers of single-trailer combination trucks,

multiple-trailer combination trucks, two-axle four-tire vehicles, buses

and the total number of vehicles operating on an average day. If it is

determined that two or more continuous major system segments have both

similar traffic volumes and distributions of the vehicle types

identified above, a single monitoring session will be sufficient to

monitor these segments.

(e) Vehicle occupancy monitoring. As deemed appropriate to support

the data uses identified in Sec. 500.203(a) of this subpart, data will

be collected on the average number of persons per automobile, light

two-axle truck, and bus. The duration, geographic extent, and level of

detail shall be consistent with the intended use of the data, as

cooperatively agreed to by the organizations that will use the data and

the organizations that will collect the data. Such vehicle occupancy

data shall be reviewed at least every three years and updated as

necessary. Acceptable data collection methods include roadside

monitoring, traveler surveys, the use of administrative records (e.g.,

accident reports or reports developed in support of public

transportation programs), or any other method mutually acceptable to

the responsible organizations and the FHWA.

(f) Field operations. (1) Each State's TMS for highway traffic data

shall include the testing of equipment used in the collection of the

data. This testing shall be based on documented procedures developed by

the State. This documentation will describe the test procedure as well

as the frequency of testing. Standards of the American Society for

Testing and Materials or guidance from the AASHTO may be used. Only

equipment passing the test procedures will be used for the collection

of data for the purposes identified in Sec. 500.203(a) of this subpart.

(2) Documentation of field operations shall include the number of

counts, the period of monitoring, the cycle of monitoring, and the

spatial and temporal distribution of count sites. Copies of the State's

documentation shall be provided to the FHWA Division Administrator when

it is initially developed and after each revision.

(g) Source data retention. For estimates of traffic or travel, the

value or values collected during a monitoring session, as well as

information on the date(s) and hour(s) of monitoring, will remain

available until the traffic or travel estimates based on the count

session are updated. Data shall be available in formats that conform to

those in the version of the TMG current at the time of data collection

or as then amended by the FHWA.

(h) Office factoring procedures. (1) Factors to adjust data from

short term monitoring sessions to estimates of average daily conditions

shall be used to adjust for month, day of week, axle correction, and

growth or other comparable factors approved by the FHWA. These factors

will be reviewed annually and updated at least every three years.

(2) The procedures used by a State to edit and adjust highway

traffic data collected from short term counts at field locations to

estimates of average traffic volume shall be documented. The

documentation shall include the factors discussed in paragraph (d)(1)

of this section. The documentation shall remain available as long as

the traffic or travel estimates discussed in paragraph (g) of this

section remain current. Copies of the State's documentation shall be

provided to the FHWA Division Administrator when it is initially

developed and after each revision.

2. Subchapter G is amended by adding Part 626 to read as follows:

PART 626--PAVEMENT POLICY

Sec.

626.1 Purpose.

626.2 Definitions.

626.3 Policy.

Authority: 23 U.S.C. 101(e), 109, and 315; 49 CFR 1.48(b)

Sec. 626.1 Purpose.

To set forth pavement design policy for Federal-aid highway

projects.

Sec. 626.2 Definitions.

Unless otherwise specified in this part, the definitions in 23

U.S.C. 101(a) are applicable to this part. As used in this part:

Pavement design means a project level activity where detailed

engineering and economic considerations are given to alternative

combinations of subbase, base, and surface materials which will provide

adequate load carrying capacity. Factors

[[Page 67175]]

which are considered include: Materials, traffic, climate, maintenance,

drainage, and life-cycle costs.

Sec. 626.3 Policy.

Pavement shall be designed to accommodate current and predicted

traffic needs in a safe, durable, and cost effective manner.

SUBCHAPTER E--PLANNING AND RESEARCH

PART 450--PLANNING ASSISTANCE AND STANDARDS

Subpart C--Metropolitan Transportation Planning and Programming

3. The authority citation for part 450 is revised to read as

follows:

Authority: 23 U.S.C. 134, 135, 217(g), and 315; 42 U.S.C. 7410

et seq.; 49 U.S.C. 5303-5306; 49 CFR 1.48(b) and 1.51.

4. Section 450.316 is amended by removing the word ``and'' after

the semicolon in paragraph (a)(14); by adding the word ``and'' at the

end of paragraph (a)(15); and by adding paragraph (a)(16) to read as

follows:

Sec. 450.316 Metropolitan transportation planning process: Elements.

(a) * * *

(16) Recreational travel and tourism.

* * * * *

Sec. 450.318 [Amended]

5. Section 450.318 paragraph (e), is amended by replacing the

reference ``23 CFR 500.509'' with ``23 CFR 500.109(b)''.

6. Section 450.320 is amended by revising paragraph (a); in

paragraph (b) by removing the words ``, subpart E'' and the words

``identified under 23 CFR 500.505(e)''; and in paragraph (c) by

removing the words ``, subpart E''. As revised, paragraph (a) reads as

follows:

Sec. 450.320 Metropolitan transportation planning process:

Relationship to management systems.

(a) Within all metropolitan areas, congestion, public

transportation, and intermodal management systems, to the extent

appropriate, shall be part of the metropolitan transportation planning

process required under the provisions of 23 U.S.C. 134 and 49 U.S.C.

5303-5305.

* * * * *

7. Section 450.322 is amended in paragraph (b)(4) by removing the

words ``, subpart E''.

8. Section 450.336 is amended by removing paragraph (b)(6).

49 CFR CHAPTER VI

PART 613--PLANNING ASSISTANCE AND STANDARDS

9. The authority citation for part 613 is revised to read as

follows:

Authority: 23 U.S.C 134, 135, and 217(g); 42 U.S.C. 3334, 4233,

4332, 7410 et seq; 49 U.S.C. 5303-5306, 5323(k); and 49 CFR 1.48(b),

1.51(f) and 21.7(a).

10. Part 614 is revised to read as follows:

PART 614--TRANSPORTATION INFRASTRUCTURE MANAGEMENT

Sec.

614.101 Cross-reference to management systems.

Authority: 23 U.S.C. 303; 49 U.S.C. 5303-5305; and 49 CFR 1.48

and 1.51.

Sec. 614.101 Cross-reference to management systems.

The regulations in 23 CFR Part 500, subparts A and B shall be

followed in complying with the requirements of this part. Part 500,

subparts A and B implement 23 U.S.C. 303 for State development,

establishment, and implementation of systems for managing traffic

congestion (CMS), public transportation facilities and equipment

(PTMS), intermodal transportation facilities and systems (IMS), and

traffic monitoring for highways and public transportation facilities

and equipment.

[FR Doc. 96-32112 Filed 12-18-96; 8:45 am]

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